Data / Investment advisers / Rathbones
Rathbones, Liverpool, United Kingdom: $135 billion AUM, SEC registered investment adviser
Rathbones is an SEC registered investment adviser with its main office in Liverpool, United Kingdom and reports $135 billion in regulatory assets under management in its Form ADV filed July 14, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, fixed fees and commissions.
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- Registration
- SEC registered investment adviser
- CRD number
- 124925
- SEC file number
- 801-64731
- SEC status
- Approved, effective November 16, 2005
- Legal name
- Rathbones Investment Management Limited
- Main office
- Port of Liverpool Building Pier Head, Liverpool, United Kingdom L3 1NW
- Phone
- +44-151 236 6666
- Website
- rathbones.com
- Regulatory AUM
- $135,087,393,955 in the Form ADV filed July 14, 2026
- Discretionary AUM
- $118,860,995,003
- Non discretionary AUM
- $16,226,398,952
- Accounts
- 219,634
- Employees
- 1,715, of which 725 give investment advice
- Form of organization
- Limited Corporation (UK)
- Paid through
- a percentage of assets under management, fixed fees, commissions
- Other offices
- 18
- Form ADV Item 11 disclosures
- Reported: other federal, state or foreign regulatory actions
- Latest Form ADV filing
- July 14, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 20,366 | $56.86 billion |
| Individuals (other than high net worth individuals) | 95,035 | $29.11 billion |
| Pension and profit sharing plans | 23,772 | $22.32 billion |
| Charitable organizations | 3,803 | $12.86 billion |
| Corporations or other businesses | 2,089 | $7.90 billion |
| Banking or thrift institutions | 18 | $183 million |
| State or municipal government entities | Fewer than 5 | $5.4 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $135.09 billion | March 30, 2026 |
| December 1, 2025 | $67.01 billion | August 28, 2025 |
Also on SpecStream
- Advisers with Over $100 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Rathbones on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.